Who Prime Is…
Prior to TOMI, Mr. Wotczak was the executive vice president and principal of a premier New York based investor relations agency where he served on the executive committee, established a capital markets advisory practice for the agency, and managed all sales and new business opportunities.
Mr. Wotczak spent over 10 years at the New York Stock Exchange/American Stock Exchange in senior positions within the listings group. As the Head of Equities at the American Stock Exchange, he was responsible for the oversight of over 600 issuers, new listings, strategic planning and a $40 million revenue base. Mr. Wotczak was involved in over 200 listings of OTC up-listings, SPACs, and IPOs during that period.
From 1989-1998 and again from 2000-2003, Mr. Wotczak was a registered representative. He served as a broker from 1989-1994 and brokerage branch manager from 1994-1998. From 1998-2000 he managed the trust and investment area for a NYC private bank. In late 2000 he formed and created a broker dealer subsidiary inside of the bank where he served as the firm's Securities Principal and Compliance Registered Options Principal (CROP). He worked at an NYSE Institutional Floor Brokerage firm as a senior trader from 2002-2003.
Registrations: Series 7, 24, 63, & SIE. He has previously held the Series 4, 8, 65, & 66 licenses.
Mr. Penfold holds a Bachelor of Science degree from the U.S. Merchant Marine Academy, a Master of Business Administration from the University of West Florida and is a graduate of The Joint and Combined Warfighting School at Joint Forces Staff College.
Registrations: Series SIE, 7, 19, 24, 57, 63, 79 & 99.
Ms. Stamova began her career at an outsource FinOp and Compliance consulting practice (Buchanan Associates) in the financial services division, providing accounting advice to financial services companies. She went on to become an accounting supervisor at Accounting and Compliance International (ACI) in 2009, servicing the firm’s financial services clients, which included broker dealers and investment advisors. After 5 years, Ms. Stamova then took on the role of a manager at ACI where she served the firm’s clients as an outsourced “Chief Financial Officer” and FinOp of multiple broker dealers. Ms. Stamova has an MBA and bachelor’s degree in Accountancy from St. Peter’s University.
Registrations: Series 28 & 99
Prior to joining Prime Executions, Mr. Poulton worked as a management consultant specializing in strategy and transformation projects by implementing revenue-generating and cost-saving programs across a variety of functions and industries. He also previously worked as a consultant for a business intelligence company to help financial service firms deliver actionable insights from their data. Before consulting, Mr. Poulton worked as a financial analyst in corporate finance and private equity and assisted in a variety of FP&A and portfolio-specific company projects.
Mr. Poulton earned an MBA from Carnegie Mellon University, an MSF from the University of Utah, and a BA in Mathematics and Economics from the University of Utah. He currently holds the Certified Management Accountant (CMA) designation.
For the past 20 years, Mr. Mattarelliano has been an asset to Prime Executions managing his accounts with efficiency and professionalism. His extensive expertise in the financial industry continues to grow as he values his relationships with major brokerage houses and their representatives. Joseph is also responsible for the trusting investor relations he has established and maintained throughout his career. In these changing times, Mr. Mattarelliano has adapted to the increased technological presence on the floor and remains knowledgeable of current trends in this area.
Registrations: Series 7, 19, 25, 63 & SIE
Mr. Bent has served two terms as a NYSE Floor Official, and has been on several committees, including the Continuing Education, Allocation Panel, and Fire and Safety Committee. He has mentored many new Brokers on the NYSE and is one of the more senior brokers on the trading floor today.
Registrations: Series 7 & 63
In 1997, Ms. Condo established a consulting practice that offered various compliance services to Exchange members, broker-dealers, and investment advisors. She has acted in a registered capacity as a Director of Compliance with member firms of FINRA, NYSE, Amex, BSE, NFA and MSRB.
Registrations: SIE, Series 7, 8, 14, 24, 55, 63, & 99